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James Dickson

Raymond James Financial Services Advisors, INC
53 Years of Experience
Alpharetta, GA
2 DisclosuresBroker
View SEC Summary
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James Dickson is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Alpharetta, GA, with 53 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

11720 Amber Park Drive, Suite 160, Alpharetta, GA, 30009

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2003
Withdrawn
Customer Dispute
July 1992
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is an independent contractor and financial advisor affiliated with Creative Financial Team, a branch support company. He dedicates about half of his time to this activity.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
October 2009 - Present · 17 yrs
Raymond James Financial Services, INC.
October 2009 - Present · 17 yrs
Raymond James Financial Services, INC.Broker
October 2009 - Present · 17 yrs
Previous Registrations
Ameriprise Financial Services, INC.
October 2009 - October 2009 · 0 mos
Ameriprise Advisor Services, INC.
March 2007 - October 2009 · 2 yrs 7 mos
Ameriprise Advisor Services, INC.Broker
February 2006 - October 2009 · 3 yrs 8 mos
Morgan Stanley
August 2003 - February 2006 · 2 yrs 6 mos
Morgan Stanley Dw INC.Broker
May 2000 - February 2006 · 5 yrs 9 mos
Prudential Securities IncorporatedBroker
September 1990 - April 2000 · 9 yrs 7 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
September 1986 - September 1990 · 4 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1980 - October 1986 · 6 yrs 6 mos
A. G. Becker IncorporatedBroker
August 1979 - September 1979 · 1 mo
Shearson Loeb Rhoades INC.Broker
November 1977 - September 1979 · 1 yr 10 mos
Shearson Hayden Stone INC.Broker
January 1977 - November 1977 · 10 mos
Blyth Eastman Dillon & CO. IncorporatedBroker
November 1972 - February 1977 · 4 yrs 3 mos
Eastman Dillon, Union Securities & CO., IncorporatedBroker
July 1972 - November 1972 · 4 mos
State Registrations4 states
GANCTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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